Filing Details

Accession Number:
0001758766-24-000035
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-03-05 16:22:03
Reporting Period:
2024-03-01
Accepted Time:
2024-03-05 16:22:03
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1758766 Stem Inc. STEM Miscellaneous Electrical Machinery, Equipment & Supplies (3690) 264466193
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1864717 Larsh Johnson 100 California Street
14Th Floor
San Francisco CA 94111
Chief Technology Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share Acquisiton 2024-03-01 16,747 $0.00 85,892 No 4 M Direct
Common Stock, Par Value $0.0001 Per Share Acquisiton 2024-03-01 77,308 $0.00 163,200 No 4 A Direct
Common Stock, Par Value $0.0001 Per Share Disposition 2024-03-04 7,153 $2.48 156,047 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 A Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock, Par Value $0.0001 Per Share Restricted Stock Unit Disposition 2024-03-01 16,747 $0.00 16,747 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
161,821 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, Par Value $0.0001 Per Share 107,456 Indirect By Trust
Footnotes
  1. Shares issued in connection with bonus earned under the Issuer's 2023 annual incentive plan based on attainment of corporate performance goals.
  2. Represents shares of common stock automatically sold to cover the reporting person's tax liability in connection with the settlement of RSUs. This "sell to cover" transaction does not represent a discretionary trade by the reporting person.
  3. Shares held by trust for which the reporting person is a trustee.
  4. On March 1, 2022, the reporting person was granted 66,988 RSUs vesting in four equal annual installments beginning on March 1, 2023.